Morning Memo
 
Wealth Management Morning Memo

AUGUST 22, 2023

SEC Settles First Charges Stemming From Updated Marketing Rule

New York-based fintech advisor Titan Global Capital Management will pay more than $1 million to settle charges it made misleading statements concerning hypothetical performance metrics for its crypto strategy.

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RPA Edge

How RFPs changed the 401(k) Record Keeping Business

And how it could affect advisors.

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MIDYEAR OUTLOOK

The Risk of Playing It Safe

Investors should be wary of loading up on short term bonds, even with an inverted yield curve.

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Technology

Snappy Kraken Unveils AI-Powered Email Builder

The new tool uses an API integration from OpenAI, the creator of text-based chatbot ChatGPT and image generator DALL-E.

FULL ARTICLE

Regulatory

FINRA Names New Enforcement Division Leader

Executive Vice President Bill St. Louis will take over from interim director Christopher Kelly.

FULL ARTICLE

RESOURCE CENTER

Get to Know Wells Fargo Advisors Financial Network

Learn more ways to run your business independently

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People

Former Carson CMO Lands at FiComm

FiComm has hired Mary Kate Gulick as its new executive vice president of marketing.

FULL ARTICLE

WEBINAR

The 2023 RIA Edge Study: The Secrets to Unlocking Growth and Ongoing Success

Join us tomorrow to uncover growth secrets from the 2023 RIA Edge Study, revealing how select firms thrived after adapting to 2022 challenges, in partnership with Wealth Management IQ and MarshBerry Advisors.

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